Internal Audit Lead for Securities

3 weeks ago


Mumbai, Maharashtra, India Leading Securities Broking Full time

Job Summary:

We are seeking a highly skilled and experienced Internal Audit Lead to join our team at Leading Securities Broking. The successful candidate will lead internal audits as per the annual audit plan, evaluating the adequacy and effectiveness of internal controls relating to risks within business areas and verifying compliance with all applicable laws and regulations.

About the Role:

This is a senior leadership role responsible for planning and executing audit fieldwork in line with the agreed audit approach. The Lead Auditor will review special investigations from time to time, lead branch inspection reviews, discuss observations with CBOs, and finalize inspection results. They will also review and provide expert opinion on action plans provided by stakeholders, helping them develop robust remediation plans.

The ideal candidate will have a strong background in auditing, preferably with experience in stockbrokers / BFSI sector / audit firms. They should possess effective verbal, written, and negotiation skills, as well as effective project management skills, influencing and relationship management skills.

Responsibilities:


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